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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

COMPREHENSIVE PERSONAL FINANCIAL ADVISORS

CPFA, LLC, CRD 118192

LONE TREE, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:73380106-8a27-1352-d560-d94bc78724dd

Data as of Dec 22, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Dec 22, 2014
5 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $287MItem 5.F on the latest filing (2014-12-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $285M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 7
Accounts: 473
Custody, client assets: $4.9M
SEC number: 801-61885
CRD: 118192
Filings on the tape: 5
First filed: Mar 27, 2012
Latest filed: Dec 22, 2014
Organised: Limited Liability Company, Colorado

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ROGERS, RICHARD, JAMES	MANAGING MEMBER	E	yes	09/1998	Mar 27, 2012	Dec 22, 2014
HAMEL, JOHN, EDWIN	CHIEF COMPLIANCE OFFICER	Na	no	11/2007	Mar 27, 2012	Dec 22, 2014

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 18, 2014	$287M	$285M	8	7	n/a	n/a	n/a
2012	Mar 26, 2013	$258M	$257M	8	6	n/a	n/a	n/a
2011	Mar 27, 2012	$173M	$172M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$287M	$258M	11.3%	n/a	n/a	8	8	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FRONTIER WEALTH MANAGEMENT, LLC	5	Mar 25, 2015	Apr 21, 2015	LONE TREE, CO	Firm absorbed	Other	83.3%

Relationships

Controls (1)

← ROGERS, RICHARD, JAMESOwnerMANAGING MEMBER, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV

Owns (1)

← HAMEL, JOHN, EDWINOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV

Moved with (1)

→ FRONTIER WEALTH MANAGEMENT, LLCRegistered adviser5 advisors, firm absorbed, same day
Mar 25, 2015 to Apr 21, 2015factForm ADV

Registered with (6)

← RICHARD JAMES ROGERSAdvisorregistration: previous registration
Apr 2, 2003 to Mar 25, 2015factForm ADV
← JOHN EDWIN HAMELAdvisorregistration: previous registration
Dec 19, 2008 to Mar 25, 2015factForm ADV
← DAVID ERIC BAYSINGERAdvisorregistration: previous registration
Feb 5, 2014 to Mar 25, 2015factForm ADV
← JILL ALLAGOOD ROGERSAdvisorregistration: previous registration
Feb 5, 2014 to Mar 25, 2015factForm ADV
← KELLY MICHAEL ELSENSOHNAdvisorregistration: previous registration
Feb 5, 2014 to Mar 25, 2015factForm ADV
← AARON FRANKLIN LEATHERWOODAdvisorregistration: previous registration
Feb 5, 2014 to Mar 25, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73380106-8a27-1352-d560-d94bc78724dd
First observed: Mar 27, 2012
Last observed: Dec 22, 2014 143 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

COMPREHENSIVE PERSONAL FINANCIAL ADVISORS

CPFA, LLC, CRD 118192

LONE TREE, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:73380106-8a27-1352-d560-d94bc78724dd

Data as of Dec 22, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ROGERS, RICHARD, JAMES

MANAGING MEMBER

yes

09/1998

Mar 27, 2012

Dec 22, 2014

HAMEL, JOHN, EDWIN

CHIEF COMPLIANCE OFFICER

11/2007

Mar 27, 2012

Dec 22, 2014

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 18, 2014

$287M

$285M

n/a

2012

Mar 26, 2013

$258M

$257M

n/a

2011

Mar 27, 2012

$173M

$172M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$287M

$258M

11.3%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FRONTIER WEALTH MANAGEMENT, LLC

Mar 25, 2015

Apr 21, 2015

LONE TREE, CO

Firm absorbed

Other

83.3%